DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

K••••• A•••• M••••••••• C•••

Former SEC-registered adviserChicago, IllinoisCRD 104994SEC 801-17827IAPD
Latest filing Nov 15, 2016
First filing on the tape Mar 27, 2012 · 11 filings
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.2M gross assets
History
11 filings and snapshots on the tape
RAUM$3.2B as of Jan 29, 2016
Mar 27, 2012$4.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 29, 2016
Mar 22, 20133 then
Employees (5.A)31 as of Jan 29, 2016
Mar 22, 201324 then
Private funds1 as of Jan 29, 2016
Mar 27, 20123 then
RAUM -37% over the last fiscal year-11% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Nov 15, 2016; every figure names its basis
RAUM per advisor
$3.2BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$6.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
31.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-37%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$10.3M, 1 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
482reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$10.3M for 1 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    K•••• T••••• P•••••••Hedge Fund$10.2M56Mar 27, 2012
    K•••• P••••••••• P••••••••• L•••no longer reportedHedge Fund$9.2M1Mar 27, 2012
    K•••• L•••••• P••••••••• N•• 1•no longer reportedHedge Fund$7.8M1Mar 27, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• D•••••• B••••• · Chief Compliance Officercontrol
      since 09/2015 · owns less than 5%
    • O•••••• B••••• M•••••• · Executive Chairmancontrol
      since 09/2015 · owns less than 5%
    • K•••••• R••••• B• · Directorcontrol
      since 09/2015 · owns F of T• K•••• H••••••• L••
    • O•••••• B••••• M•••••• · Directorcontrol
      since 09/2015 · owns F of T• K•••• H••••••• L••
    • W•••••• R•••••• L•••••• · Directorcontrol
      since 09/2015 · owns F of T• K•••• H••••••• L••
    • K•••••• K••••• M•••••• · President
      since 06/2015 · owns less than 5%
    • K•••••••• R•••••• M•••••• · General Counsel, Chief Financial Officer & Corporate Secretary
      since 03/2006 · owns less than 5%
    Entity owners
    • K••••• H•••••••• I••• · Shareholder
      direct · owns 75% or more
    • J•••• C•••• · Shareholder
      indirect · owns 75% or more of K••••• H•••••••• I•••
    • T••• A••••••• A•• P•••••• V• L••• · Unit Holder
      indirect · owns 25% to 50% of T• K•••• H••••••• L••
    • T•••••••• · Unit Holder
      indirect · owns 50% to 75% of T• K•••• H••••••• L••
    • T• A••••••••• L••• · Controller Of Unit Holders
      indirect · owns 75% or more of Gp Of Funds Owning Ta K•••• Holdings, LLC
    • T• K•••• H••••••• L•• · Shareholder
      indirect · owns 75% or more of J•••• Corp
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 579 to 482
      Oct 30, 2015 to Jan 29, 2016
    • Advisory employees · 15 to 14
      Oct 30, 2015 to Jan 29, 2016
    • Employees · 25 to 31
      Oct 30, 2015 to Jan 29, 2016
    • State-registered IARs · 3 to 1
      Oct 30, 2015 to Jan 29, 2016
    • Discretionary RAUM · $3.6B to $3.2B
      Oct 30, 2015 to Jan 29, 2016
    • RAUM · $3.6B to $3.2B
      Oct 30, 2015 to Jan 29, 2016
    • Related adviser · false to true
      Oct 2, 2015 to Oct 30, 2015
    • Accounts · 719 to 579
      Jun 11, 2015 to Oct 2, 2015
    • Assets in custody · $29.6M to $10.3M
      Jun 11, 2015 to Oct 2, 2015
    • Private funds · 3 to 1
      Jun 11, 2015 to Oct 2, 2015
    • Discretionary RAUM · $5.0B to $3.6B
      Jun 11, 2015 to Oct 2, 2015
    • RAUM · $5.0B to $3.6B
      Jun 11, 2015 to Oct 2, 2015
    • Related bank · true to false
      Jun 11, 2015 to Oct 2, 2015
    • Accounts · 751 to 719
      Mar 25, 2014 to Mar 25, 2015
    • Advisory employees · 13 to 15
      Mar 25, 2014 to Mar 25, 2015
    • BD registered reps · 14 to 16
      Mar 25, 2014 to Mar 25, 2015
    • Assets in custody · $39.8M to $29.6M
      Mar 25, 2014 to Mar 25, 2015
    • State-registered IARs · 5 to 3
      Mar 25, 2014 to Mar 25, 2015
    • Discretionary RAUM · $5.9B to $5.0B
      Mar 25, 2014 to Mar 25, 2015
    • RAUM · $5.9B to $5.0B
      Mar 25, 2014 to Mar 25, 2015
    • Accounts · 644 to 751
      Mar 22, 2013 to Mar 25, 2014
    • Advisory employees · 11 to 13
      Mar 22, 2013 to Mar 25, 2014
    • Assets in custody · $22.9M to $39.8M
      Mar 22, 2013 to Mar 25, 2014
    • Employees · 24 to 25
      Mar 22, 2013 to Mar 25, 2014
    • State-registered IARs · 3 to 5
      Mar 22, 2013 to Mar 25, 2014
    • Discretionary RAUM · $4.5B to $5.9B
      Mar 22, 2013 to Mar 25, 2014
    • RAUM · $4.5B to $5.9B
      Mar 22, 2013 to Mar 25, 2014
    • Accounts · 753 to 644
      Sep 4, 2012 to Mar 22, 2013
    • Advisory employees · unset to 11.0
      Sep 4, 2012 to Mar 22, 2013
    • BD registered reps · unset to 14.0
      Sep 4, 2012 to Mar 22, 2013
    • Assets in custody · $18.9M to $22.9M
      Sep 4, 2012 to Mar 22, 2013
    • Employees · unset to 24.0
      Sep 4, 2012 to Mar 22, 2013
    • State-registered IARs · unset to 3.0
      Sep 4, 2012 to Mar 22, 2013
    • Discretionary RAUM · $4.7B to $4.5B
      Sep 4, 2012 to Mar 22, 2013
    • Non-discretionary RAUM · $42.1M to $0
      Sep 4, 2012 to Mar 22, 2013
    • RAUM · $4.8B to $4.5B
      Sep 4, 2012 to Mar 22, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026